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  • AU-2.4 AU-2.4 Condition 4: Board and Employees

    • AU-2.4.1

      Those nominated to carry out controlled functions must satisfy CBB's approved person's requirements.

      Amended: July 2007

    • AU-2.4.2

      The definition of controlled functions is contained in AU-1.2, whilst AU-3 sets out CBB's approved persons requirements. Applications for approved person status must be submitted using the prescribed approved persons form.

      Amended: July 2007

    • AU-2.4.3

      The investment firm licensee's staff, taken together, must collectively provide a sufficient range of skills and experience to manage the affairs of the licensee in a sound and prudent manner. Investment firm licensees must ensure their employees meet any training and competency requirements specified by the CBB.

      Amended: July 2007

    • AU-2.4.4

      The CBB's training and competency requirements are contained in Module TC (Training and Competency).

      Amended: July 2007